Mark K. Oliver

OLIVER CAPITAL MANAGEMENT

Seattle, WA 98101-4036

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CRD#: 2856594

Professional summary

Mark Kenneth Oliver is a registered financial advisor currently at OLIVER CAPITAL MANAGEMENT located in Seattle, Washington.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Kenneth Oliver's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 25, 2003 - Present

OLIVER CAPITAL MANAGEMENT

Office #1: 601 Union Street Suite 3010, Seattle, WA 98101-4036

RIA

CRD#: 127606

Seattle, WA

Past

July 1, 2003 - August 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, WA

Past

July 1, 2003 - August 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 2, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

BELLEVUE, WA

Past

December 1, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 19, 1997 - December 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OLIVER CAPITAL MANAGEMENT

OLIVER CAPITAL MANAGEMENT | OLIVER CAPITAL MANAGEMENT, LLC | OLIVER CAPITAL MANAGEMENT, INC.

CRD#: 127606 / SEC#: 801-67157

RIA

Registered Investment Advisory firm - (9/27/2006 Approved)

Washington

Registered Investment Advisory firm - (10/3/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/1/2006)

IAR

Washington
(7/25/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/27/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/22/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

OLIVER CAPITAL MANAGEMENT

OLIVER CAPITAL MANAGEMENT | OLIVER CAPITAL MANAGEMENT, LLC | OLIVER CAPITAL MANAGEMENT, INC.

CRD#: 127606 / SEC#: 801-67157

RIA

Registered Investment Advisory firm - (9/27/2006 Approved)

Washington

Registered Investment Advisory firm - (10/3/2006 Terminated)

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Contact information

Main Address

601 Union Street Suite 3010, Seattle, WA 98101-4036

Mailing Address

Phone number

(206) 775-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OLIVER CAPITAL MANAGEMENT, ADV PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,717
AUM (Assets Under Management)	$ 422,343,530

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark K. Oliver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Kenneth Oliver's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OLIVER CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1997

Series 63

Date: 4/14/1997

Series 7

Date: 3/18/1997

Series 10

Date: 7/27/2002

Series 9

Date: 6/22/2002

Current Firm

OLIVER CAPITAL MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLIVER CAPITAL MANAGEMENT

TRUST BUT VERIFY

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